Department of Labor & Industry - Business Standards

NOW THAT A COMPLAINT IS FILED . . . .

A letter requesting a response and copy of the complaint may be sent to the licensed individual against whom the complaint is filed (Respondent).

A letter of acknowledgment is sent to the person who filed the complaint (Complainant).

The respondent and complainant are sent letters regarding the date and time of screening panel meeting where the complaint will be discussed and then notified of the decision.

SOME DEFINITIONS . . .

Screening Panel - Made up of members of a licensing board who determine preliminary actions taken on a complaint.

Adjudication Panel - Made up of members of a licensing board NOT serving on the Screening Panel who determine final decision of a case.

AND THEN . . . .

The complaint and response go to the Screening Panel. This is not a hearing, but a committee meeting.

The Screening Panel has the option of dismissing the complaint, determining reasonable cause (see definitions) or requesting an investigation into the matter.

The complaint can be dismissed with or without prejudice (see definitions). The Panel may also decide to send a letter of warning or instruction to the respondent at the time the case is dismissed.

If an investigation is requested, the case will be assigned to an investigator who conducts an investigation under the direction of Department Counsel.

After completion of the investigation, an investigation report is written and reviewed by the Screening Panel. This report is not a public document.

NOW . . . .

Following the review of the written investigation report, the Screening Panel determines if the case should be dismissed or if there is Reasonable Cause to proceed with disciplinary action (see definitions). Again, this is not a hearing, but a committee meeting.

If the complaint is dismissed, it can be dismissed with or without prejudice (see definitions).

If Reasonable Cause is determined, Department Counsel sends a Notice to the Respondent. Once a Notice is issued, it becomes public information and is no longer confidential.

The Respondent has twenty (20) days in which to request a Hearing, a legal process before an impartial Hearing Examiner (similar to a judge) which is conducted pursuant to the Montana Administrative Procedure Act.

If the Respondent does not respond within the 20 days, a Default order is requested by Department Counsel and the Adjudication Panel will issue a Final Order in the matter.

At any time, the Respondent and Department Counsel may work out a Proposed Stipulation to settle the case instead of proceeding with a Hearing (see definitions). A Proposed Stipulation goes to the Adjudication Panel for approval or rejection. If approved, a Final Order will be issued incorporating the terms of the proposed stipulation.

If a Hearing is conducted, the Hearing Examiner will issue findings of fact, conclusions of law and proposed order which will be considered by the Adjudication Panel for rejection, modification, or acceptance before issuing a final order.

MORE DEFINITIONS . . . .

Respondent - The licensed individual against whom a complaint has been filed.

Complainant - The person who filed the complaint.

Dismiss with prejudice - The complaint is dismissed and can never be opened up again.

Dismiss without prejudice - The complaint is dismissed but can be considered again if there is another complaint against the licensed individual of a similar nature.

Investigation - Gathering of the facts surrounding the allegations.

Letter of warning - A warning given at the time a complaint is dismissed, putting the respondent on notice that further actions similar to those in the complaint could lead to disciplinary action in the future.

Reasonable Cause - A finding by the Screening Panel that a licensed individual has violated statutes or rules governing the practice that justifies disciplinary action.

Notice - Legal document sent to the Respondent setting forth the Department's factual assertions, the alleged violations of statutes or rules and advising the licensee of the right to a hearing.

Proposed Stipulation - Tentative agreement for settlement of the case subject to approval by the Adjudication Panel.

MEETINGS. . .

The Respondent and Complainant are notified by letter of the dates and times of Screening Panel meetings in which the complaint will be reviewed and will need to respond regarding attendance.

At the beginning of each Screening Panel meeting, the members take a few minutes to review any new materials. The meetings begin as Open meetings but are usually closed to protect the privacy rights of the complainant and respondent.

Open Meeting - A public meeting, anyone can attend and minutes are distributed as a public document.

Closed Meeting - Not a public meeting. Only the Respondent, Complainant and/or attorney for both parties can be in attendance. Meetings and minutes are not public documents.

Attendees can observe the Panel's discussion but not participate. Attendees may answer questions if asked.

Screening Panels will usually consider the complaints of those in attendance first to try to minimize the wait.